Statute and Rules
Statute and Rules
New Mexico Securities Rules
Use the links below to to view the specific sections.
12.11.2 Broker-Dealers and Agents
12.11.3 Broker-Dealer and Agent Records
12.11.4 Broker-Dealer and Agents Rules of Conduct and Prohibited Business Practices
12.11.5 Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers
12.11.6 Investment Advisers and Investment Adviser Representatives Records
12.11.8 Registration of Securities – General Provisions
12.11.9 Standards Applicable to Registered Offerings
12.11.10 Small Company Offering Registration (SCOR)
12.11.13 Uniform Limited Offering Exemption
12.11.14 Notice Filings for Offerings of Covered Securities
12.11.17 Use of Senior-Specific Certifications and Professional Designations
New Mexico Uniform Securities Act
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Article 2. Exemptions from Registration of Securities
Article 3. Registration of Securities and Notice Filing of Federal Covered Securities
Article 5. Fraud and Liabilities
Protecting Vulnerable Adults from Financial Exploitation
Use the links below to to view the Protecting Vulnerable Adults from Financial Exploitation act and rules.
Protecting Vulnerable Adults from Financial Exploitation Act
Protecting Vulnerable Adults from Financial Exploitation Rules